In the Media

NAPA (June 10, 2019) - Regulatory Compliance The ink is not yet dry on the SEC’s new investment advice package, but the prospects of a looming legal battle have already surfaced.  The SEC voted 3-1…
AXIOS (June 6, 2019) - The SEC has passed Regulation Best Interest, a new rule requiring stockbrokers and financial advisers to act in the best interest of their clients. Yes, but: There are some…
Barron's (June 5, 2019) - The Securities and Exchange Commission is poised to vote on an overhaul of broker-conflict rules on Wednesday, and advocates say that’s bad news for investors.  The so-…
InvestmentNews (June 4, 2019) -Barbara Roper says the new regulations 'will mislead investors into expecting protections the rules do not deliver and deprive them of protections they currently…